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John Joseph Shanley

Charles Schwab & CO., Inc.

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About John Joseph Shanley

John Joseph Shanley is a financial advisor who has been in the industry since 2010. John is currently registered with Charles Schwab & CO., Inc. in Colorado and Texas. John has experience with Charles Schwab & CO., Inc., National Planning Corporation, Investment Centers of America, Inc., and SII Investments, Inc.. John has passed the Series 6, 7, 63, and 66 exams. John specializes in Portfolio Management and Financial Planning.

Firm Information

John Shanley is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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John Shanley’s Registration & Firm History

CO

01/06/2020 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

WI

12/14/2015 - 02/21/2018

INVEST FINANCIAL CORPORATION (APPLETON WI)

WI

12/14/2015 - 02/21/2018

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

CO

12/14/2015 - 02/21/2018

NATIONAL PLANNING CORPORATION (DENVER CO)

WI

12/14/2015 - 02/21/2018

SII INVESTMENTS, INC. (APPLETON WI)

CO

03/18/2010 - 11/30/2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)

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Licenses & Designations

BOTH

Issued 02/08/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/18/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/21/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2011

Series 7 - General Securities Representative Examination

BC

Issued 03/16/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for John Joseph Shanley.
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